HR Update - Conducting an investigation
Friday, October 4, 2013
Before deciding on whether to take disciplinary action it is important to conduct a thorough investigation, says Jacqui Mann
When an incident occurs in your nursery, it is sometimes difficult to know if any disciplinary action is required. First of all, you need to take steps to establish all the facts surrounding the incident, including any mitigating circumstances. The following should be considered:
- Decide who will conduct the investigation. Whenever possible, a different manager should conduct the investigation from the manager who will conduct any potential disciplinary hearing.
- Review whether the employee should be suspended while the matter is being investigated. Suspension will normally only be appropriate in cases of negligence or gross misconduct.
- Interview witnesses. This should be done as soon as possible to ensure the incident is recalled accurately. Ideally, written signed statements should be obtained.
- Gather any other evidence that may be available. In some cases, this will require an investigatory meeting with the employee to establish their version of events before proceeding to any disciplinary hearing. In others, the investigatory stage will be the collation of evidence by the employer for use at any disciplinary hearing.
- When holding a meeting, give the employee warning and time to prepare. Any investigatory meeting should be confined to establishing the facts.
- There is no statutory right for an employee to be accompanied at a formal investigatory meeting.
- Take care to deal with the employee in a fair and reasonable manner.
- It is important to keep an open mind and look for evidence that supports the employee's case as well as evidence against.
- It is important that disciplinary action is not considered at an investigatory meeting. If it becomes apparent that formal disciplinary action may be needed then this should be dealt with at a formal meeting at which the employee will have the statutory right to be accompanied.
Remember, as the employer you could be held liable if a poor investigation leads to an unfair dismissal, which can prove very costly in an employment tribunal.
Jacqui Mann is managing director of HR4 Nurseries www.hr4nurseries.co.uk.
